PLAYBOOK TSF Playbook Structure for Each Characteristic As states perform their TSF self-assessments

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Transcript of PLAYBOOK TSF Playbook Structure for Each Characteristic As states perform their TSF self-assessments

  • PLAYBOOK Version 1.2

    January 28, 2020

  • Page i

    VERSION HISTORY

    Version Date Edit

    1.0 January 14, 2020 N/A

    1.1 January 15, 2020 Submission evidence in characteristic III.D Participating Communities edited to include instructions for those wishing to submit analyses and outreach plans.

    1.2 January 28, 2020 Changes to I.A. (Foundational Evidence and Proficient Benchmark); further clarification around Evidence in all characteristics; Adjustments to III.B. to clarify that higher standards will be included in the NOFO and should be incorporated into the SOW, even though it is not being assessed this year; and adjustments to the wording of the benchmarks and evidence in III.D. to further clarify the options for submitting evidence or accepting FEMA- provided data.

  • Page ii

    INTRODUCTION The Community Assistance Program–State Support Services Element (CAP-SSSE) is a cooperative agreement that provides funding to states to support communities in the National Flood Insurance Program (NFIP) in implementing NFIP floodplain management activities. Through CAP-SSSE, states provide technical assistance and evaluate community performance in implementing NFIP requirements. They also work to implement actions that reduce the damage and costs from flooding across their state. CAP-SSSE helps meet the flood loss reduction goals of the NFIP by building state and community floodplain management expertise and capability, and leveraging state knowledge and expertise in working with communities.

    The CAP-SSSE program partners with states to expand the NFIP’s ability to provide community services (education, monitoring, and enforcement) and build state capability for managing flood risk (prevention, preparedness, recovery, and mitigation) in support of the NFIP’s goals. States with advanced floodplain management capabilities conduct additional activities to create comprehensive and effective state floodplain management programs beyond administration of the NFIP. These states leverage their unique capabilities, relationships, and land use authorities to ensure that floodplain management guides development and redevelopment to reduce risk from flooding and to prevent increases in flooding potential.

    The Tiered State Framework (TSF) In response to feedback from state partners, FEMA created the CAP-SSSE Tiered State Framework (TSF). The TSF helps FEMA recognize, invest in, and incentivize state efforts to develop the capabilities necessary to meet the goals of the CAP-SSSE program and grow a state’s broader floodplain management ability. The TSF and an aligned program funding methodology allow FEMA to:

    • Increase transparency around state activities; • Enable a performance-based program allowing FEMA to fairly evaluate State

    NFIP Coordinating Office strengths and areas of improvement; and • Establish a level playing field for CAP-SSSE to make judgements about the

    resources that states may require to deliver upon the goals of the program.

    As illustrated in Figure 1, the TSF establishes three tiers: Foundational, Proficient, and Advanced. A state’s tier is based on a two-step assessment of a state’s floodplain management program against a series of benchmarks at least every three years. A state’s tier assignment influences their annual scope of work (SOW) (beginning in 2020) and their funding (beginning in 2021). Significant strengths in a state’s TSF assessment enable special access to incentives such as additional funding, increased autonomy over workplans and strategies, and funding eligibility of certain non-traditional projects. Conversely, gaps or deficiencies in a state’s TSF assessment, coupled with their state-specific aspirations and goals, help determine the activities, performance metrics, training plans, reporting requirements, and subsequent funding levels to address those gaps.

    FEMA uses characteristics and benchmarks across four categories to assess and assign states to a tier (see Figure 2 and Appendix A).

    Figure 2 Four Categories of the TSF

    Figure 1 CAP-SSSE State Tiers

  • Page iii

    Each benchmark has a set of required evidence that the state must provide to demonstrate that it meets the benchmark. In this way, the TSF assessment provides a quantifiable and equitable approach to ensure that each state receiving CAP-SSSE funding possesses the necessary capacity and expertise, a history of satisfactory performance, and adequate plans, strategies, and partnerships to accomplish the work in the most efficient and effective manner.

    The TSF Assessment and Assignment Process FEMA requires a TSF assessment from each state every three years, beginning in 2020 or upon first applying for the CAP-SSSE grant, whichever is most recent. States may also request an off-cycle TSF assessment if they desire (for example, if a state believes they meet the benchmarks for the next tier and would like to be assigned to that tier earlier than their next assessment cycle).

    As Figure 3 shows, TSF assessments begin in/around January and are integrated into the grant application process. Validated TSF assessments and final tier assignments are submitted in the Non-Disaster Grants (ND Grants) system as an addendum to the state’s SOW.

    Figure 3 TSF Assessment and Annual Grant Milestones

    TSF assessments begin with a state self-assessment, which the FEMA Region validates. Both parties use the TSF assessment to inform SOW development and award considerations for the upcoming period of performance (PoP), integrating appropriate requirements and incentives driven by the state’s tier assignment. Where the state and the FEMA Region are inconsistent in their assessments of the state and unable to adjudicate those discrepancies at the Regional level, the case is forwarded to FEMA Headquarters for final determination of the state’s tier assignment.

    States utilize the TSF Assessment Tool to perform self-assessments. The TSF Assessment Tool is an interactive Microsoft Excel-based form where a state selects the benchmarks that it meets and provides descriptive details about the required evidence for each. Based on the state’s benchmark selections, the tool calculates a score for each category (to aid in SOW development) and an overall score that automatically assigns the state to the corresponding tier. Foundational benchmarks receive one point, Proficient benchmarks receive two points, and Advanced benchmarks receive points. No state will perfectly align to every benchmark in any one tier, thus score ranges (Figure 4) determine a state’s tier assignment. The score ranges require a state to achieve most, but not all, of the benchmarks in the tier before they are assigned to that tier. It is critical to note that if a state is not able to reach the Foundational benchmark for any one characteristic, their overall tier assignment will be assessed at “Below Foundational” regardless of their performance on any of the other characteristics in the TSF.

    Figure 4 TSF Score Ranges

  • Page iv

    Using this TSF Playbook This TSF Playbook should be used in conjunction with the TSF Assessment Tool. The playbook has four chapters that align to the four TSF categories. As illustrated in Figure 5, each category chapter provides a detailed overview of each of the characteristics within that category, including the intention behind its inclusion in the TSF, the benchmarks that must be met for each tier, and the evidence required to prove that those benchmarks have, in fact, been met. Evidence submission and SOW development guidance is also included.

    Figure 5. TSF Playbook Structure for Each Characteristic

    As states perform their TSF self-assessments in the TSF Assessment Tool, they should use the categories and characteristics in this Playbook to validate benchmarks and determine what evidence to submit in support of their tier assignment.

  • Page v

    CONTENTS

    I. CAPACITY 1 I.A State Land Use Authority and Enforcement for Local Communities ..................................................................... 2 I.B State Land Use Authority and Enforcement for State Owned Properties .............................................................. 3 I.C Financial Grant Management................................................................................................................................... 4 I.D Administrative Grant Management .......................................................................................................................... 5 I.E Ability to Overmatch .................................................................................................................................................. 6

    II. CAPABILITY 7 II.A Investment in Professional Development ............................................................................................................... 8 II.B Communication with Communities on NFIP Topics ................................................................................................ 9 II.C Training Variety ....................................................................................................................................................... 10 II.D Process for Reviewing and Improving Model Floodplain Management Regulations ......................................... 11 II.E Substantial Damage Program ............................................................................................................................... 12

    III. PERFORMANCE MEASURES 13